Securities / Derivatives

Enforcement

Thai SEC Sanctions Deloitte Auditor for Falsifying Financial Statements

By Mark Johnston | 06/04/2026

The regulator has filed a criminal complaint and imposed a six-year ban on the auditor for serious professional misconduct that facilitated financial fraud.

Securities / Derivatives

TAIFEX to Introduce Dynamic Price Limits for ETF Derivatives

By Mark Johnston | 06/04/2026

The exchange is replacing fixed price limits for futures and options on ETFs with foreign components with a new three-stage circuit breaker mechanism.

Securities / Derivatives

JPX Consults on Index Rules for Special Alert Securities and Crypto Assets

By Sanday Chongo Kabange | 06/04/2026

The proposed revisions would alter the timing of index removal for troubled stocks and temporarily halt the inclusion of new crypto-related issues into its indices.

Securities / Derivatives

Thailand, Laos Sign MOU on Stock Market Integration

By Mark Johnston | 06/04/2026

The agreement aims to strengthen cross-border connectivity, explore dual listings, and enhance regulatory cooperation between the two Southeast Asian markets.

Securities / Derivatives

Tokyo Bourse Mandates Listing Objective Disclosures for PRO Market

By Sanday Chongo Kabange | 06/04/2026

The new requirement aims to enhance the functionality of the market for professional investors and clarify company growth strategies.

Securities / Derivatives

New SFC Rules Pormpt CITIC Securities to Withdraw as IPO Sponsor

By Editors | 06/04/2026

CITIC Securities has withdrawn as an IPO sponsor for Top Toy International Group to comply with a new cap imposed by Hong Kong's SFC.

Securities / Derivatives

SEBI Proposes Reinstating Open Market Share Buybacks

By Sanday Chongo Kabange | 06/04/2026

The proposal follows key tax reforms and aims to provide companies with a flexible tool to support share prices amid market volatility.

Securities / Derivatives

Korea Simplifies Foreign Investor Onboarding With New LEI System

By Mark Johnston | 06/04/2026

The Korea Securities Depository has launched a real-time certificate service, replacing cumbersome translation and notarisation requirements for account opening.

Securities / Derivatives

UN SSE, IFC Launch Guidance for Board Oversight of ISSB Reporting

By Manesh Samtani | 06/04/2026

New model guidance and training aim to help corporate boards navigate the complexities of sustainability-related financial disclosures.